SEC Form 4 · accession 0001209191-17-044829
REVA Medical, Inc. · RVA:AX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Bernard Stockman
Director
Period of report
Jul 9, 2017
Accepted (ET)
Jul 11, 2017 · 8:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001496268
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 9, 2017 | A | 6,000 | $0.00 | A | 288,239 | D | |
| Common Stock | holding | — | — | — | 227,718 | I | By wife | |
| Common StockF2 | holding | — | — | — | 1,341,175 | I | Group Outcome Investors I, LLC | |
| Common StockF3 | holding | — | — | — | 1,101,615 | I | Kenneth Rainin Administrative Trust U/D/T 3/29/90 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $6.45 | Jul 9, 2017 | A | 10,500 | A | — | Jul 9, 2027 | Common Stock | 10,500 | 10,500 | D |
Explanation of responses
- F1These restricted stock units will vest in full on the earlier of (i) July 9, 2018 or (ii) the day prior to the Issuer's 2018 annual stockholder meeting.
- F2Represents shares held by Group Outcome Investors I, LLC. The members of Group Outcome Investors I, LLC are Isabel Stockman Trust, Martha Davis, Trustee; Hope Stockman Trust, Martha Davis, Trustee; Phoebe Stockman Trust, Martha Davis, Trustee; and Elizabeth Stockman Trust, Martha Davis, Trustee. Each of the members shares voting and dispositive power with respect to the shares. The trustees are children of Robert Stockman, and for Section 16 purposes, we have reported the full beneficial ownership of Group Outcome Investors I, LLC under Mr. Stockman's beneficial ownership. Mr. Stockman disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.
- F3Mr. Stockman is a trustee of the Kenneth Rainin Administrative Trust U/D/T 3/29/90 and has voting and dispositive power with respect to these shares. Mr. Stockman disclaims beneficial ownership except to the extent of his pecuniary interest therein.
- F4The option shares shall vest in four equal quarterly installments, with the first installment on October 9, 2017.